This licence authorises the licensee to carry on a financial services business to:
provide general financial product advice only to retail clients for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
derivatives;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
standard margin lending facility; and
superannuation;
provide financial product advice to wholesale clients for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
derivatives;
interests in managed investment schemes including:
investor director portfolio services;
securities;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients in respect of the following classes of financial products:
financial products limited to:
miscellaneous financial investment products limited to MDA services;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients in respect of the following classes of products:
deposit and payment products limited to:
basic deposit products;
derivatives;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
standard margin lending facility; and
superannuation;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients in respect of the following classes of products:
financial products limited to:
miscellaneous financial investment products limited to MDA services; and
underwriting to retail and wholesale clients:
an issue of securities.
| Name | First provided advice | Qualification and trainings |
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